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虎牌娱乐现货交易规则(试行) 

第一章 总则
Chapter I General Provisions

 

第一条 为保障虎牌娱乐(以下简称“交易中心”)现货交易业务的正常运行,维护市场秩序,保护交易各方的合法权益,根据国家有关法律、法规、政策和国际公约、国际惯例,制定本规则。
Article 1. In accordance with related regulations in P.R China and international conventions and practice, these Rules are hereby formulated with a view to regulating iron ore spot trading activities, maintaining the market order and protecting the legitimate rights of all trading parties in Rizhao International Iron Ore Exchange(hereinafter referred to as the “RIOE”).
第二条 交易中心遵循公开、公平、公正和诚实信用的原则,采用电子交易的模式,为铁矿石现货交易提供信息发布、在线交易等中介服务。
Article 2. Iron ore spot trading shall abide by the principles of openness, fairness, honest and trustworthy. Trading is transacted electronically. RIOE is dedicated to be a main platform for trade information and provides intermediary services for both sellers and buyers.
第三条 交易中心实行分级会员制与主交易商制。
Article 3. A membership system is adopted in RIOE, members in RIOE are classified into ranks including a group of principle members.
第四条 交易中心、会员、主交易商、指定货物监管商、指定结算银行必须遵守本规则。
Article 4. RIOE, members, principle members, designated third parties for logistic supervision and designated banks for settlement shall abide by the
Regulations.


第二章 定义与术语
Chapter II Definitions and Terminology


第五条 会员:是指根据交易中心《虎牌娱乐会员及主交易商管理办法(试行)》的规定,与交易中心签署《虎牌娱乐会员入市协议》后在交易中心进行现货交易的企业法人。
Article 5. Member: business entity that has signed the AGREEMENT ON ENTERING INTO MARKET OF RIZHAO INTERNATIONAL IRON ORE EXCHANGE with RIOE and conducts spot trading business in accordance with provisions of MEASURES FOR MEMBERSHIP ADMINISTRATION OF RIZHAO INTERNATIONAL IRON ORE EXCHANGE (TRAIL).
第六条 主交易商:是指根据交易中心《虎牌娱乐会员及主交易商管理办法(试行)》的规定,与交易中心签署《虎牌娱乐主交易商入市协议》后在交易中心进行现货交易的企业法人。
Article 6. Principle Dealer: business entity that has signed the AGREEMENT ON ENTERING INTO MARKET OF RIZHAO INTERNATIONAL IRON ORE EXCHANGE AS PRINCIPLE DEALER with RIOE and conducts spot trading business in accordance with provisions of MEASURES FOR MEMBERSHIP ADMINISTRATION OF RIZHAO INTERNATIONAL IRON ORE EXCHANGE (TRAIL)
第七条 受限会员:是指被其它会员选定不能参与其挂单、竞买、竞卖交易的会员单位。
Article 7. Restricted member: It refers to a member selected by other members
as an entity who is not entitled to participate in listing, bidding and auction
第八条 信任会员:是指会员在发起每笔挂单、竞买、竞卖时选定的可免缴履约保证金参与该笔交易的其它会员单位。
Article 8. Trusted member: It refers to a member selected by other members when they initiate a listing, bidding or auction as an entity who is exempt from performance deposit.
第九条 入库:是指卖方会员在交易系统上将货物进行申报,经交易中心和货物监管方审批后进入其账户的虚拟库存。货物入库后即可用于交易。
Article 9. Warehouse loading: the process that the seller reports its cargo via RIOE trading system, the cargo is available for trading on the approval of RIOE and the third party for logistic supervision as virtual inventory on seller’s account.
第十条 出库:是指卖方会员的货物电子成交后或货物未成交会员申请出库,经交易中心审核并签发《货物成交出库通知书》或《货物解除冻结通知书》后,货物监管方解除该笔货物的监管,同时该笔货物从交易中心虚拟库存中扣除。
Article 10. Warehouse unloading: the process that the third party terminates logistic supervision of the cargo in condition of concluding a transaction or application for warehouse unloading, RIOE should issue the Notice of Delivery of Cargo or Notice of Terminating Supervision of Cargo. The logistic supervision will be terminated under above-mentioned condition; the cargo will be removed from virtual inventory of the RIOE trading system at the same time.
第十一条 虚拟库存:是指会员在交易前对待交易货物信息在交易系统中进行登记,审核通过后,在交易系统中记录的可交易的库存量。
Article 11. Virtual Inventory: the available trading stocks recorded in the
exchange system, which is registered in the exchange system by the member for its trading information and has been examined and verified by RIOE.
第十二条 货物监管方:是指与交易中心签订货物监管合作协议,进行货权确认及监管服务的企业法人。
Article 12. The third parties for logistic supervision: business entity that has signed Agreement on Logistic Supervision of Cargo with RIOE and has the right to confirm the right of the cargo and provides supervision service.


第三章 交易场所与交易时间
Chapter III Trading Place and Time


第十三条 交易场所包括交易中心交易大厅、电子交易系统、门户网站(

www.cqwzwm.com)及相关辅助通信设施等。
Article 13. Trading places include trading hall of RIOE, electronic trading system, portal website (
www.cqwzwm.com)and related supporting telecommunication facilities.
第十四条 交易时间为每周一至周五(国家法定假日除外)北京时间9:00至17:00。
Article 14. Trading time: Monday to Friday (Except China statutory holidays): 9:30-16:30 Beijing time.

 

第四章 交易标的
Chapter IV Trading Product

 

第十五条 交易标的包括美元现货与人民币现货。
本交易规则所述美元现货包括:
A:未发运或正在装船且以美元成交的铁矿石现货;
B:已发运在途且以美元成交的铁矿石现货;
C:在中国港口保税区堆存尚未报关且以美元成交的铁矿石现货;
本交易规则所述人民币现货包括:
D: 未完税通关且以人民币成交的铁矿石现货。
E: 已完税通关且以人民币成交的铁矿石现货。
Ariticle 15. Trading products include U.S dollar-based cargo and on port cargo on CNY basis.
U.S dollar-based cargo includes:
A: Iron ores that have not delivered from mines or in the process of loading and settled in U.S. dollar.
B: Iron ores in transit and settled in U.S.dollar.
C: Iron ores stored at the China’s ports bonded area without customs declared and settled in U.S. dollar
On port cargo on CNY basis includes:
D: Iron ores without customs declared and settled in CNY.
E: Iron ores with customs declared and settled in CNY


第五章 交易方式
Chapter V Matching Method


第十六条 会员(或主交易商)通过交易中心电子交易系统进行交易,交易方式包括现货挂牌卖出和竞价交易。
Article 16. Members (or principle dealers in RIOE) transact business via electronic trading system, transaction modes include listing and bidding.
第十七条 会员(或主交易商)可通过交易客户端登记货
物求购信息,求购信息在交易中心门户网站上发布。
Article 17. Members (or principle dealers in RIOE) shall register purchase information in trading system which shall be released on the website of RIOE.
第十八条 会员(或主交易商)在进行卖出挂牌前,需要将待交易货物在交易系统中登记入库,审核通过后可进行交易。
Article 18. Members (or principle dealers in RIOE) shall register the cargo in trading system before listing, the cargo which has been verified enters into the market.
第十九条 现货挂牌卖出按以下规则进行:
卖方在挂牌时选择货物的最小成交量,最小成交量等于挂牌量时,挂牌货物只可整体交易不可拆分;最小成交量小于挂牌量时,即该笔货物可拆分交易。买方对可交易的挂牌货物选择成交或者进行洽谈。
当买方接受卖方报价时,可直接成交。
当买方进行价格洽谈时,洽谈价格需等待卖方选择,卖方接受报价并确认后,该笔交易成交。
在洽谈交易中,当最小成交量等于挂牌量时(即不可拆分),系统按照价格优先、时间优先的原则对买方回复的洽谈价格进行排序,卖方只可选择最优价进行成交。
价格优先原则:买方洽谈价格高价优于低价。
时间优先原则:价格相同时,先报价优于后报价,先后顺序按系统接受的报价时间为准。
当最小成交量小于挂牌量(即可拆分)时,系统将买方
回复的所有洽谈价格进行排列显示,卖方可自行选择进行成交。
Article 19. Trade of spot cargo listed on RIOE is regulated by the following rules:
Seller sets a minimum trading volume at the time listing the cargo in trading system. The cargo is deemed as an integral pack when minimum trading volume is equal to listed amount. Otherwise the cargo shall be dealt separately. Buyer shall choose either conclude the deal or negotiate concerning the listed cargo.
A deal is concluded when the buyer accept seller’s offer.
Counter-offer made by buyer should be confirmed by seller during negotiation, the deal is concluded when seller accepts and confirms the counter-offer.
In case of the cargo is an integral pack, that is minimum trading volume is equal to listed amount; the system shall arrange the order of buyer’s offer according to price priority principle and time priority principle.
Price priority principle: a higher quotation made by buyer is prior to a lower one.
Time priority principle: buyer’s offer is arranged in order of time of acceptance in case of equality of quotations. An early quotation is prior to the latest one.
In case that trading volume is less than listed amount, which is the cargo can be dealt separately, the trading system shall list all the quotation made by buyer, seller shall deal with the quotation at their disposal.
第二十条 竞价交易分为拍卖和招标两种模式。
拍卖交易成交按照以下规则进行:
以固定价报价的拍卖单,卖方应设置保留价(底价),并可自行决定是否对外公布保留价(底价)。
买方在拍卖有效期内对拍卖信息进行回应,对于固定价报价的拍卖单,当拍卖底价低于最高买入报价时,以最高买入报价为成交价;对于指数报价的拍卖单,当拍卖结束时需卖家自主选择成交方成交。
招标交易成交按照以下规则进行:
卖方在招标有效期内对招标信息进行回应,应标的货物
信息及报价在系统中排列,招标方在招标有效期结束后,在系统规定的时间内,对应标信息进行选择成交。
Article 20. Mode of bidding includes two patterns: auction and inviting tender.
Auction is regulated by the following rules:
For auction based on fixed price, the sell instruction shall set the reserve price (the bottom price) and decide whether to release the price to public.
The sell instruction shall respond the auction information within the valid period, for auction based on fixed price , when the bottom auction price is less than the highest biding price; the highest biding price is selected as the deal price; For auction based on index, when an auction is ended, the seller should select a buyer to finish the deal.
Inviting tender is regulated by the following rules:
Sellers should response to the information of inviting tender within the valid period. The information of bidding cargo and price is listed in the system. After the valid period,the tender invitation party can select transaction from the bidding information within the stipulated time of the system.
第二十一条 买卖双方可对挂牌信息及洽谈信息进行修改,但不可撤单。
固定价报价的挂单,卖方可直接修改挂牌价或延长有效期;指数报价的挂单,卖方仅可修改折扣和浮动价或延长有效期,修改后立即生效。
买方可修改洽谈价格及延长有效期。
Article 21. Both buyer and seller can modify the listing information and negotiation information, but can not withdraw the list.
For listing based on fixed price, seller can change the listing price directly or extend the valid period;For listing based on index, seller only can change the discount and floating price or extend the valid period. It comes into effect immediately after a change.
Once the seller lists its cargo, the price can not be modified, the valid period can be prolonged.
第二十二条 会员或主交易商在挂牌或竞价交易时可以指定部分或全部会员对象为普通定向会员或信任会员进行
交易,此时,该笔交易只针对指定对象有效。若不指定则视为该挂牌或竞价交易对除受限会员以外的所有会员有效。
Article 22. Members or principle dealers of RIOE can choose part of or all the other members as their common designated members or trusted members during the transaction. In this case, the transaction is only valid to the designated objectives. Otherwise, a trading order instruction is regarded valid for all members except restricted members.
第二十三条 会员或主交易商在挂牌及竞价模式中,可选择直接成交或委托成交进行交易。
直接成交是指会员或主交易商通过自有资金直接摘牌的交易。
委托成交是指会员通过向交易中心提出申请,委托主交易商进行摘牌的交易,主交易商也可通过其他主交易商进行委托成交。
Article 23. Member or principle dealer may trade the listed transaction and the biding transaction on a direct deal or in the commission
Trade on a direct deal refers to a transaction settled by fund at the disposal of member or principle dealer.
Trade in the commission refers to transaction settled by principle dealer that are entrusted by member, a principle dealer may entrust other principle dealer to close a deal.
第二十四条 美元现货最小报价单位为0.01美元/干吨,人民币现货的最小报价单位为0.01人民币/湿吨或者0.01人民币/干吨。申报价格必须为最小报价单位的正整数倍。
Article 24. The minimum quotation for U.S dollar-based on spot cargo is USD 0.01/dry metric tonne; the minimum quotation for domestic on spot cargo is CNY 0.01/wet metric tonne or CNY 0.01/dry metric tonne. The price of trade instructions shall be the integer multiple of the minimum quotation.
第二十五条 交易的最小申报量为1000吨。
交易的最小成交量为1000吨。
交易的最小变动量为1吨或1吨的整数倍。
Article 25. The minimum reported amount of trading shall be 1000 ton;
The minimum dealing amount of trading shall be 1000 ton;
The minimum variation of the trading shall be one ton or the integer multiple of one ton.


第六章 成交确认
Chapter VI Affirmation of Transction


第二十六条 成交后买卖双方即成立合同关系,交易中心在成交后即时生成电子成交确认书,交易双方可下载查看。
Article 26. Trading relationship is established between buyer and seller when transaction is matched by the system. The electronic confirmation letter can be downloaded from trading system.
第二十七条 电子成交确认书主要包括:交易双方信息、交易商品品种及代码、交易商品规格、成交价格及时间、成交数量等。电子成交确认书的内容构成合同的基本要素。若最终签订的合同与电子成交确认书不符的,以最终签订合同为准。
Article 27. The electronic confirmation letter includes the following information: information on buyer and seller, product and product code, quality, transaction price and time, quantity. Information in electronic confirmation letter constitutes the basic elements of the purchase contract. If the terms and conditions under the final contract contradict with the electronic confirmation letter, the final contract shall prevail.
第二十八条 交易双方收到电子成交确认书后,应通过预
留的传真号码向交易中心反馈已签订的合同,交易中心收到合同后为会员办理货物出库等事项。
Article 28. Both the buyer and seller shall send back their signed contract to RIOE by fax( faxed number has been registered) on receiving the electronic confirmation letter. RIOE shall deal with the cargo delivery matters for the member when receiving the contract.


第七章 履约保证金
Chapter VII PERFORMANCE DEPOSIT


第二十九条 交易中心实行履约保证金制度,会员须按照其所申报合同价值的一定比例缴纳履约保证金,作为其履行申报内容的承诺。交易中心以促进市场活跃或加强风险控制为目的,有权对履约保证金收取标准做适当调整,有权对某一或全部合同的买卖双方单方面或双方面提高/降低保证金,并提前予以公告。
现行履约保证金额度为不少于合同标的总额的20%。
Article 29. Performance deposit system is adopted in RIOE. Member shall ensure the sufficient performance deposit in proportion to reporting contract total price as a commitment to the act of reporting. With a purpose of enlivening the market and reinforce the risk control, RIME is entitled to make proper adjustment to performance deposit and to increase/reduce performance deposit amount for both/one party of the contract with advance notice.
The current performance deposit limit is not less than 20% of the total amount defined in the contact.
第三十条 经交易中心认证的主交易商和作为卖方参与交易的会员无须缴纳保证金。
Article 30. Principle dealers and seller member with confirmation of RIOE need no performance deposit.
第三十一条 当电子成交后,交易双方应共同签署(法定代表人签字并加盖公章)履约保证金流向的确认文件,并将文件通过预留的传真号码反馈至交易中心,交易中心根据该文件明确的流向转出保证金。通过委托成交方式进行的交易,确认保证金流向的文件应由买卖双方及主交易商共同签署。
Article 31. When the electronic transaction finished, both parties of the transaction shall sign the file to confirm the performance deposit flow (signed by legal representative and affix the official stamp) and send it back to RIOE by fax( faxed number has been registered). RIOE shall transfer the performance deposit according to the flow defined in the contact. As to the trade in the commission, the file that confirms the flow of the performance deposit shall be signed by the buyer the seller as well as the principle dealer.
第三十二条 若会员在某笔报单中选择了信任会员,则该信任会员在参与该笔报单的交易时无须缴纳保证金。
Article 32. If a member chooses a trusted member in a particular declaration, then the trusted member can participate in this transaction without paying deposit.
第三十三条 信任会员交易方式下有任何一方违约时,买卖双方间的争议或买卖方与任何其他第三方间的争议与交易中心无关,买卖双方应按照该笔买卖合同的条款进行解决。
Article 33. Under the mode of trusted member transactions ,if any party defaults, the disputes between buyers and sellers or any other third party are not relevant to RIOE. The buyers and sellers should settle the disputes according to relative articles under the sales contract.


第八章 货物管理
Chapter VIII SUPERVISON OF CARGO


第三十四条 交易中心不定期公布指定的货物监管方和认可的货物监管方名称,会员可以自行选择与交易中心有合作关系的货物监管方。
Article 34. RIOE shall make nonscheduled public announcement for designated supervisor of cargo and authorized supervisor. Members shall select the supervisor at will from aforementioned supervisors that have cooperative relationship with RIOE .
第三十五条 会员在进行入库申请时,货物监管方应对拟交易货物的权属及品质证明文件进行审核,该货物应与会员在交易系统中申报的货物相关信息一致,审核通过后,货物监管方须向交易系统发出确认指令,系统收到指令后确认入库。若审核未通过,货物监管方应将具体原因通过系统反馈给会员和交易中心。
若会员选择的货物监管方为非交易中心指定或认可的,该会员须同交易中心指定或认可的货物监管方完善货物监管手续。
Article 35. The supervisor shall examine and verify ownership and quality certificates of the cargo when members report for sale, aforementioned verified information should be in accord with reported information in trading system. Supervisor shall confirm the verification in trading system, electronic trading system puts cargo in storage under the confirmation. If verified information is not confirmed, supervisor shall give notice to members and RIOE concerning specific reason in trading system.
If the supervisor of cargo chosen by a member is not designated and authorized by RIOE, the member should complete formalities of cargo supervision with designated supervisor.
第三十六条 卖方应保证货物的数量、品质等信息与卖出
申报的信息一致,并根据不同的交易标的向货物监管方提交下列能够证明货物权属及品质的文件:
美元现货A:
只能由交易中心认定的一级会员参与此类货物的交易,且无需通过货物监管方审核。
美元现货B、美元现货C、人民币现货D:
(1)海运提单复印件;
(2)装港品质证书复印件;
(3)其他相关的权属证明或品质证明文件。
人民币现货E:
(1)CIQ检验证书复印件;
(2)货权证明复印件;
(3)其他相关的权属证明或品质证明文件。
Article 36. Seller should guarantee the quality and quantity of the cargo is in conformity with information in sell reporting, seller should submit the following documents to supervisor of the cargo that prove the ownership and quality of the cargo according to different transaction:
U.S dollar-based cargo A:
ONLY A-CLASS MENBERS are involved in U.S dollar-based cargo transaction, supervision of cargo is not essential in this transaction.
U.S dollar-based cargo B, U.S dollar-based cargo C, On port cargo on CNY basis D:
(1) copy of Bill of Lading
(2) copy of quality certificate in port of loading
(3) other files that is relevant to the ownership and quality certification
On port cargo on CNY basis E:
(1) copy of CIQ
(2) copy of ownership certificate
(3) other files that is relevant to the ownership and quality certification
第三十七条 会员的申报成交并将以签订的合同传真至
交易中心后,交易中心即时签发《货物成交出库通知书》,货物监管方收到《货物成交出库通知书》后解除该笔货物的监管,同时该笔货物从交易中心虚拟库存中扣除。
Article 37. When member’s trade reporting is completed and the signed contract has been faxed to RIOE, RIOE shall instantly issue Notice of Delivered Cargo from Storage, supervision of the cargo is expired when aforementioned NOTCE is received by the supervisor,meanwhile the cargo under the trade is deducted from RIOE virtual inventory automatically.
第三十八条 已纳入虚拟库存但尚未成交的货物,会员可提出出库申请,交易中心接到申请后24小时内完成对该笔货物的审核并签发《货物解除冻结通知书》,审核内容包括但不限于货物名称、出库数量、船号、货位号等。货物监管方收到《货物解除冻结通知书》后解除对该笔货物的冻结。若审核未通过,交易中心应将具体原因通过系统反馈给会员。
Article 38. Member shall put out for application of cargo deducted from storage, aforementioned cargo is those incorporated into virtual inventory yet not under transaction, RIOE should verified the information of the cargo and issue Notice of Removing Cargo Supervision within 24 hours after receiving the application. Information to be verified includes name of cargo, quantity removed from storage, vessel No., location number of cargo, and other additional information is demanded when it is acquired. Supervision of cargo is expired when supervisor receives the NOTICE. If verified information is not confirmed, RIOE should give notice to members and RIOE concerning specific reason in trading system.
第三十九条 交易中心签发的上述凭证为货物出库及会员办理提货的必要凭据。没有交易中心签发的凭证,货物监管方不得为会员办理提货。
Article 39. Aforementioned documents issued by RIOE are essential for conduction of cargo removing from storage and members taking delivery of cargo. Supervisor should not take delivery of cargo for member without aforementioned documents.
第四十条 货物监管方应按照相关法律法规及本规则的规定妥善、谨慎处理监管的货物。
Article 40. Supervisor of cargo should handle the cargo under supervision discreetly according to relevant laws and regulations and articles under this regulation.


第九章 交易资金结算
Chapter IX SETTLEMENT MANAGEMENT


第四十一条 交易资金结算是指根据会员或主交易商的成交情况,对参与交易的会员或主交易商的交易手续费、履约保证金等进行核算、划转的业务。交易资金结算以美元或人民币为计价单位。
Article 41. Settlement under these rules refers to business activities of calculating, transferring performance deposit, commission and other payment between trading members and principle dealers in RIOE according to their transactions. Chinese Yuan (CNY) or US dollar ( USD) is the currency of trading fund settlement.
第四十二条 交易中心指定结算银行并开立资金结算账户,并实行分账管理,保证资金结算的安全。
Article 42. RIOE designates settlement bank and opens settlement account and implement separate account management, ensuring safety of the fund.
第四十三条 会员及主交易商可在交易中心指定的结算银行开设自有账户,结算银行将对会员及主交易商的自有账户与交易中心资金结算账户绑定,会员及主交易商的资金往来在其专用资金结算账户和自有账户间划转。会员及主交易
商亦可通过其他非指定结算银行的账户完成交易。
Article 43. Members and principle dealers in RIOE should open the self-fund account at designated settlement bank. The settlement bank will bind the self-fund account with RIOE’s settlement account, the deposit and withdrawal of funds will be transferred between aforementioned accounts. Members and principle dealers in RIOE may also complete the transaction through other undesignated settlement bank.
第四十四条 会员或主交易商在申报交易时需保证其资金结算账户有足额资金以支付交易手续费和履约保证金。若其自有账户资金余额不足,则系统不支持下单,提示账户余额不足。生成电子成交确认书后,交易手续费扣除。
Article 44. Members and principle dealers in RIOE should deposit sufficient funds in self-fund account in designated bank as performance deposit and transaction commission when they make trade reporting. Trade system will disapprove the order when the amount of fund in self-fund account is insufficient, trade system will give a notice of insufficient fund. When the electronic confirmation letter is generated, transaction commission is charged.


第十章 违约责任
Chapter X DEFAULT AND RESOLUTION


第四十五条 会员在交易过程中发生的任何纠纷,可自行协商解决,也可提交仲裁或诉讼,交易中心不对会员之间的交易纠纷负有任何责任。
Article 45. Any dispute arising between members during trading can be resolved by consultation and also can be submitted directly for arbitration or can institute legal proceedings. RIOE disclaims all responsibilities for dispute between members.


第十一章 附则
Chapter XI SUPPLEMENTARY PROVISIONS


第四十六条 中国国家法律、法规及政府相关部门对交易中心内的现货交易品种有特别规定的,从其规定。
Article 46. If there are special Chinese government laws, regulations and government authority rules on iron ore spot trading, such regulations shall prevail.
第四十七条 本规则的解释权和修订权属于交易中心。
Article 47. RIOE reserves the right to interpret and review these rules.
第四十八条 本规则自发布之日起执行。
Article 48. These rules go into force as of the date of promulgation.


 

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